SEAS ORIENTATION New Faculty - Columbia University

SEAS ORIENTATION New Faculty - Columbia University

ARTS & SCIENCES ORIENTATION New Faculty RESEARCH COMPLIANCE AT COLUMBIA: KEY REQUIREMENTS Sept. 8, 2017 2 Roadmap Training Conflict of Interest Human Subject Research Compensation

Research Misconduct Data Management and Integrity Export Controls 3 Training 4 Conflict of Interest Disclosure Who must disclose? Anyone who conducts research under the auspices of Columbia. May include post docs and even

graduate students depending on their level of independence. When to disclose? On hire and at least annually thereafter Required for proposal submission and award set-up Update disclosure if there are changes How to disclose? 5 Rascal web-based Conflict of Interest module Conflict of Interest Disclosure What to disclose? All outside financial interests that relate to

research or other institutional responsibilities that you have currently or expect to have over the next 12 months, e.g.: Consulting or other compensation for services, but not if paid through Columbia Equity or other ownership interests, including start-up companies even if they exist only on paper. Not equity held in mutual funds or retirement accounts Royalties, IP payments Include self, spouse, dependent children Parents and grandparents only if you know the 6 interests, but no obligation to inquire.

Conflict of Interest Review Conflict of Interest Committee reviews Significant Financial Interests that relate to the individuals research. Compensation including royalties > $5,000 Any equity in a private company Equity in a public company with a value > $5,000 Committee asks: is there a conflict and if so, can it be managed? Case-by-case review 7 Conflict of Interest Resources Policy

General FAQs Start-up FAQs Disclosure Checklist 8 Human Subjects Research The definition is broader than might be expected. All human subject research protocols must be approved by one of Columbias Institutional Review Boards. Submit protocols through Rascal. Grants Management: Compensation

Researchers may charge a proportionate share of salary to sponsored projects. A&S funds academic-year salary but a portion may 10 be charged to sponsored projects Researchers may charge summer salary to sponsored projects Salary must be reasonable for services provided, project by project Non-sponsored activities, e.g., teaching, service, writing new funding proposals, must be funded by school or department sources, including in the summer

Compensation Across the Project Lifecycle Initial salary allocation: must reasonably approximate activity expected to be performed Ongoing monitoring at least quarterly: allocation must be adjusted for significant changes End-of-year effort report confirms that salary is reasonable: in October Effort reporting training is required 11 Results Too Good to Be True? University definition of Research Misconduct

tracks Federal regulations Fabrication Falsification Plagiarism Office of Research Compliance & Training is a resource call us ASAP Formal process for allegations of research misconduct Structured, 3-stage process set forth in Universitys Institutional Policy on Misconduct in Research Sometimes informal resolution is an option 12 Research and Data Integrity

(ReaDI) Program EVP for Health Sciences and EVP for Research asked the Office of Research Compliance and Training to initiate a new program to enhance data management and Resources Consultations Outreach research integrity Tutorials Workshops Templates Lectures Best practice Topics ranging from

questionable guidelines Laboratory departure research practices to checklists data management And many more! and federal public access policies 13 Michelle Benson, Ph.D. [email protected] Evaluate research group data

management practices and ensure they meet PIs expectations Data validation component By PI or department request LabArchives: Electronic Lab Notebook

14 Free for any Columbia personnel with valid UNI Unlimited storage Unlimited number of notebooks Max file upload into notebook is 4GB Features: Secure, backed-up Collaboration space Customizable Searchable Audit trail and version control Cloud-based: ability to access from anywhere Classroom edition also available

Approved only for use in research (other than research studies involving the provision of health care services for which study subjects are billed) More information at: Export Controls Export controls are laws and regulations that regulate whether certain technology or information can be shared outside the U.S. or with non-U.S. persons here. U.S. sanctions regulations can limit transactions and travel to certain countries. Comprehensive sanctions: Cuba, Iran, North Korea, Sudan, Syria, Crimea Region of Ukraine

Contact Michelle Avallone, Director of 15 Export Controls, with any questions or for any projects involving sanctioned countries Contact Information Naomi Schrag, JD Misconduct, COI, Compliance Policy VP, Research Compliance, Training and Policy [email protected]; 854-8123 Michael Klein, JD Misconduct, COI Director, Research Compliance [email protected]; 851-2896 Michelle Avallone, JD Export controls, sanctions Director, Export Controls [email protected]; 851-9822 Michelle Benson, PhD Research and Data Integrity

Assistant Director, Research Integrity and Compliance [email protected]; 851-7281 16 Anderson Smith Administrative Manager [email protected]; 854-4261

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